acsa personnel institute conducting effective workplace investigations joe woodford
TRANSCRIPT
ACSA PERSONNEL INSTITUTE
Conducting Effective Workplace Investigations
Joe Woodford
ObjectivesLearn How To:
• Prepare for an investigation• Collect evidence• Interview witnesses• Interview accused employee• Determine credibility • Prepare statements & reports
Definition Of Investigation
Systematic fact gathering
into allegation or
incident to determine the
truth of the matter.
Duty to Investigate
• Notice of possible wrongdoing
• Complaint– Formal – Anonymous – Confidential
• Observation • Report
Types Of Investigations
• Preliminary• Follow-up/formal investigation• Special investigation• Concurrent or parallel • Sub Rosa• Undercover
Preliminary Investigation
• Initial action by supervisor or manager• Timely• Gather basic facts
– Who– When– Where– What– How
• Collect evidence• Document & report
Follow-up Investigation
• Decision to investigate • Formal investigation• Follow-up on leads• Seek out witnesses• More time • Additional resources• Post legal action
Special Investigation
• Politically sensitive• High risk• Create attorney work product• Special training & expertise• Crimes
Parallel Investigation
• Concurrent with law enforcement • Police contacts • Avoid interference • Police report & LC 432.7 • Illegal possession of evidence • Police possession of evidence • District attorney
Sub-rosa & Undercover Investigations
• Surveillance • Undercover • Private investigator • Due diligence • Contract • Cost
Investigation Tasks
• Plan • Interview witnesses• Interview accused • Collect evidence• Build investigation file • Document
Investigation Plan
• Who will investigate? • Are resources needed?
– Forensic/Specialists
• Are interim protections necessary? • What policy/regulation is involved? • Are there relevant files & Records?
– Personnel, student, payroll, etc.
Evidence
Types Of Evidence
• Testimonial• Documentary• Physical• Electronic
Physical Evidence
• Chain of custody– Document & secure
• Converting the form– Photograph– Video tape– Witness description– Testing
Legal Acquisition
• Is it in plain sight?• Does the employee have a reasonable
expectation of privacy? • If no, search• If yes• Ask for consent to search
Test For Reasonableness
• Is reason for search reasonable?• At inception– what are my reasons for
search?– Document basis
• Was scope of search reasonable?• How far should search go?
– Limit search to area that would reasonably yield the contraband
Documentary Evidence
• Business records• Correspondence• Complaints• Job descriptions • Interview/meeting summaries• Policies, procedures, bulletins, etc.• Sworn statements
Testimonial Evidence
Source• Employees• Students• Parents• Vender’s• Citizens
Form• Written statement• Interview summary• Statement • Affidavit • Transcript
Interview Skills
Questions Are The Tools Of Interviewing
Considerations
• Who – Uninvolved – Training/experience– Gender
• Recorded vs. notes • Location
– Confidentiality
• Time
Interview Plan
• List known facts• Prepare & maintain a timelineVISIT SITE• Outline questions• Assemble aids• List of interviewees • Arrange for resource staff
Interview Aids
• Witness statements• Background info • Photographs, video• Contraband• Records / reports• Timeline• Documents• Work product
• Rules, procedures, etc• Job description • Laboratory reports• Laws, regulations• Previous statements• Maps• Sketches, plot plans
Active Listening
• Prepare in advance• Limit your own talking• Be interested• Look and listen for signals• Notice body language• Use interjections• Check for understanding
Get Answers To:
• Who?• When?• Where? • What?• How?• Why?
Characteristics Of Good Questions
• Short & confined to one topic• Avoid compound questions• Clear & easily understood• Avoid leading questions • Avoid frightening words• Relevant to interview objective
Open-ended Questions
• Goal is to get person talking• Provide useful information missed by
specific questions• Provide interviewer with unknown
information– Volunteered information– Contradictions– Admissions
Sample Open-ended Questions
• What can you tell me about the …• What do you know about the missing…• Why are there so many errors on your…• Tell me about this letter?• How did you get involved in this mess?• Tell me what happened?• Show me how it happen?
Closed ProbingQuestions
• Goal is to get information– Specific – Not volunteered – 5 W’s- who, what, where, when & why
• Ask one question at a time• Break questions down into smaller parts• Precise
Sample Closed-probing Questions
• Where were you?• Who else was there?• Is that your hand writing?• What did you say to her?• Who was driving the truck?• Did you take the money?• Did you grab Walter?
Notes
• Time, date, place & people present• Legible• Accurate• Witness identification• Witnesses story• Chronological order• Confidential information
Interview Summary
• Prepare soon after interview• Typed• Use narrative format• Include facts and relevant information• Limit to issue(s) under investigation• Use neutral tone• Review by interviewee
Witnesses
Interview Environment
• Private & confidential • No right to representation • Prevent interruptions • Remove distracters• Access to exit• Clear vision of interviewee
Witness Interview
• Establish rapport– A little small talk– Reassure– you are not in trouble
• Lay the ground work– Explain general nature of
incident/investigation – Don’t give details– Give purpose of interview
Witness InterviewContinued
• Take notes• Ask background questions • Ask opened questions
– Segue from introduction– “What can you tell me about…”– Get witness to talk– Allow witness to ramble
• Follow with closed probing questions
Witness InterviewContinued
• Determine ability to perceive incident– Distance from incident– Hear – See
• Stick to facts• Relationships • Any bias
Witness InterviewContinued
• Give opportunity to add information• Ask:
– “Is there anything else I should know…”– “What else can you tell me about…”– “Who else should I talk to…”
• Positive close– Thank you
The Accused
Shrewd investigators armed with knowledge of the facts save the most
difficult interviews for last
Rights Of Accused
• Self-incrimination – Criminal vs. Civil
• Refuse to cooperate with investigation• No right to lie• Right to union representation
– Weingarten rights
Right To Union Representation
• A bargaining unit member• Questioned by management• As part of an investigation• Employee reasonably believes it will lead
to discipline• Ask for union representation
Right ToUnion Representation Continued • Investigatory meetings• Particular union representative not
required• Employee may be required to respond• No right at routine meetings• No right during immediate correction of
work
Accused Interview
• Establish rapport– Small talk– Explain purpose of interview
• Background information • Obtain information about incident• Cooperation is expected• Must give honest answers• No decision has been made
Accused InterviewContinued
• Take notes– Carefully record admissions– Carefully record false statements
• Check knowledge of rules, procedures, etc.
• Ask open-ended questions– Let employee talk– “What can you tell me about…”
Accused InterviewContinued
• Follow with closed, probing questions– While answering open-ended questions
suspects will use avoidance or lie• Try to find out why
– Get explanation why they did it• Provide opportunity to add information
– Opportunity to tell their story– Other people to interview
Accused InterviewContinued
• Positive close• Advise of next step• Admonishments
– No retaliation – Confidentiality
• Thank them for information
Credibility
Indicators Of Withholding Information
• Attempts to evade question• Vague answers• Conflicting information• Physical actions & appearance• Circumstances placing in position to know• Inconsistencies• Information from other sources indicating
certain knowledge
Credibility Determination
• Detail & consistency• Inherent plausibility• Character & record of witnesses• Presence or absence of corroboration• Motive to lie • Demeanor & bearing• Reason for bias
Investigation Report
• Yes or no?• Is a report required? • Strategic consideration
Report Writing
• Chronological order• Active voice in past tense• First person• Include specific detail• Don’t use jargon• Factual and truthful• Edit
Report Contents
• Procedural history • Allegations • Pertinent laws, policies regulations, etc. • Findings • Conclusions
Findings
• Substantiated • Unsubstantiated • Disproved • Exonerated
Common Mistakes
• Timidity • Delay • Relying on written statements• Not interviewing all witnesses• Not getting both sides of the story• Not separating witnesses • Not seeing for yourself
Wrap-up
• Prompt • Thorough • Nimble • Fair • Documented• Determination
